RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (RCFE)

Transcription

1 Manual of Policies and Procedures COMMUNITY CARE LICENSING DIVISION RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (RCFE) Title 22 Division 6 Chapter 8 STATE OF CALIFORNIA HEALTH AND HUMAN SERVICES AGENCY DEPARTMENT OF SOCIAL SERVICES Distributed Under the Library Distribution Act

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3 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY TABLE OF CONTENTS TITLE 22, DIVISION 6 CHAPTER 8. RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Article 1. Definitions and Forms Section General Definitions Descriptions of Forms Article 2. License License Required Operation Without a License Exemption from Licensure Integral Facilities Transferability of License Continuation of License Under Emergency Conditions or Sale of Property Conditions for Forfeiture of a License Posting of License Applicant or Licensee Mailing Address Nondiscrimination Article 3. Application Procedures Application for License Licensing Fees Application Review Capacity Withdrawal of Application Resubmission of Application Provisional License Denial of License Application Page 1

4 RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations TABLE OF CONTENTS (Continued) Article 4. Operating Requirements Section Fire Clearance Fire Safety Limitations -- Capacity and Ambulatory Status Accountability of Licensee Governing Body Advertisements and License Number False Claims Plan of Operation Program Flexibility Reporting Requirements Emergency Disaster Plan Finances Commingling of Money Bonding Safeguards for Resident Cash, Personal Property, and Valuables Theft and Loss Planned Activities Resident Councils Requirements for Emergency Adult Protective Services Placement Relocation of Resident Eviction Procedures Article 5. Physical Environment and Accommodations Maintenance and Operation Alterations to Existing Buildings or New Facilities Personal Accommodations and Services Resident and Support Services Storage Space Telephones Motor Vehicles Used in Transporting Residents Article 6. Background Check Criminal Record Clearance Criminal Record Exemption Page 2

5 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY TABLE OF CONTENTS (Continued) Article 7. Personnel Section Administrator - Qualifications and Duties Administrator Certification Requirements Administrator Recertification Requirements Administrator Certificate Denial or Revocation Administrator Certificate Forfeiture Personnel Requirements - General Personnel Records Personnel - Operations Night Supervision Article 8. Resident Assessments, Fundamental Services and Rights Renumbered to Section by Manual Letter No. CCL-08-01, effective 3/5/ Acceptance and Retention Limitations Evaluation of Suitability for Admission Pre-Admission Appraisal Medical Assessment Functional Capabilities Mental Conditions Social Factors Reappraisals Basic Services Incidental Medical and Dental Care Services Observation of the Resident Resident Participation in Decisionmaking Personal Rights Advance Health Care Directives, Requests to Forego Resuscitative Measures, and Do-Not-Resuscitate Forms Article 9. Resident Records Documentation and Support Resident Records Admission Agreements Register of Residents Page 3

6 RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations TABLE OF CONTENTS (Continued) Article 10. Food Services Section General Food Service Requirements Article 11. Health-Related Services and Conditions Health and Safety Protection Care of Bedridden Residents Automated External Defibrillators (AEDS) Postural Supports Allowable Health Conditions and the Use of Home Health Agencies General Requirements for Allowable Health Conditions Restricted Health Conditions General Requirements for Restricted Health Conditions Prohibited Health Conditions Exceptions for Health Conditions Departmental Review of Health Conditions Oxygen Administration - Gas and Liquid Intermittent Positive Pressure Breathing (IPPB) Machine Colostomy/Ileostomy Fecal Impaction Removal, Enemas, and/or Suppositories Indwelling Urinary Catheter Managed Incontinence Contractures Diabetes Injections Healing Wounds Hospice Care Waiver Hospice Care for Terminally Ill Residents Health Condition Relocation Order Resident Request for Review of Health Condition Relocation Order Administrative Review - Health Conditions Article 12. Dementia Care of Persons with Dementia Advertising Dementia Special Care, Programming, and Environments Training Requirements if Advertising Dementia Special Care, Programming, and Environments Repealed by Manual Letter No.CCL-08-01, effective 3/5/ MANUAL LETTER NO. CCL Effective 8/8/10 Page 4

7 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY TABLE OF CONTENTS (Continued) Article 13. Enforcement Section Inspection Authority of the Licensing Agency Evaluation Visit License Complaints Serious Deficiencies - Examples Follow-up Visits to Determine Compliance Penalties Appeal Process Denial or Revocation of License for Failure to Pay Civil Penalties Unlicensed Facility Penalties Unlicensed Facility Administrative Appeal Article 14. Administrative Actions - General Revocation or Suspension of License Exclusions Article 15. Administrator Certification Training Programs - Vendor Information Initial Certification Training Program Vendor and Program Approval Requirements Denial of Request for Approval of an Initial Certification Training Program Revocation of an Initial Certification Training Program Continuing Education Training Program Vendor Requirements Continuing Education Training Program Course Approval Requirements Administrative Review of Denial or Revocation of a Continuing Education Course Denial of a Request for an Approval of a Continuing Education Training Program Revocation of a Continuing Education Training Program Penalties Appeal Process MANUAL LETTER NO. CCL Effective 1/1/16 Page 5

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9 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY This Users' Manual is issued as an operational tool. This Manual contains: a) Regulations adopted by the Department of Social Services (DSS) for the governance of its agents, licensees, and/or beneficiaries. b) Regulations adopted by other State Departments affecting DSS programs. c) Statutes from appropriate Codes which govern DSS programs. d) Court decisions; and e) Operational standards by which DSS staff will evaluate performance within DSS programs. Regulations of DSS are printed in gothic type as is this sentence. Handbook material, which includes reprinted statutory material, other department's regulations and examples, is separated from the regulations by double lines and the phrases "HANDBOOK BEGINS HERE", "HANDBOOK CONTINUES", and "HANDBOOK ENDS HERE" in bold print. Please note that both other departments' regulations and statutes are mandatory, not optional. In addition, please note that as a result of the change to a new computer system revised language in this manual letter and subsequent community care licensing changes will now be identified by a line in the left margin. Questions relative to this Users' Manual should be directed to your usual program policy office. Page 6

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11 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) Article 1. Definitions and Forms GENERAL The provisions of Chapter 1, Division 6, shall not apply to the provisions of Chapter 8, Residential Care Facilities for the Elderly (RCFE). NOTE: Authority cited: Section , Health and Safety Code. Reference: Section , Health and Safety Code DEFINITIONS (a) (1) "Administrator" means the individual designated by the licensee to act in behalf of the licensee in the overall management of the facility. The licensee, if an individual, and the administrator may be one and the same person. (2) "Adult" means a person who is eighteen (18) years of age or older. (3) "Adult protective services agency" means a county welfare department, as defined in Welfare and Institutions Code section HANDBOOK BEGINS HERE Welfare and Institutions Code section provides: "'Adult protective services agency' means a county welfare department, except persons who do not work directly with elders or dependent adults as part of their official duties, including members of support staff and maintenance staff." HANDBOOK ENDS HERE (4) "Advance Health Care Directive" means a written instruction that relates to the provision of health care when the individual is incapacitated. Advance directives include, but are not limited to, a Durable Power of Attorney for Health Care, an Individual Health Care Instruction, a Request to Forego Resuscitative Measures, or a Do Not Resuscitate Form. In an advance directive, a person states choices for medical treatment and/or designates who should make treatment choices if the person creating the advance directive should lose decision-making capacity. (5) "Allowable Health Condition" means any health condition that the licensee is allowed to care for either in accordance with a specific regulation, or with an exception approved by the licensing agency. This includes restricted health conditions as specified in Section 87612, Restricted Health Conditions. Page 7

12 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) (6) "Ambulatory Person" means a person who is capable of demonstrating the mental competence and physical ability to leave a building without assistance of any other person or without the use of any mechanical aid in case of an emergency. (7) "Automated External Defibrillator" (AED) means a light-weight, portable device used to administer an electric shock through the chest wall to the heart. Built-in computers assess the patient's heart rhythm, determine whether defibrillation (electrical shock) is needed and then administer the shock. Audible and/or visual prompts guide the user through the process. (8) "Applicant" means any individual, firm, partnership, association, corporation, county, city, public agency or other government entity that has made application for a residential care facility for the elderly license, administrator certificate, or special permit. (9) "Appropriately Skilled Professional" means an individual that has training and is licensed to perform the necessary medical procedures prescribed by a physician. This includes but is not limited to the following: Registered Nurse (RN), Licensed Vocational Nurse (LVN), Physical Therapist (PT), Occupational Therapist (OT) and Respiratory Therapist (RT). These professionals may include, but are not limited to, those persons employed by a home health agency, the resident, or facilities and who are currently licensed in California.` (b) (1) "Basic Rate" means the SSI/SSP established rate, which does not include that amount allocated for the recipient's personal and incidental needs. (2) "Basic Services" means those services required to be provided by the facility in order to obtain and maintain a license and include, in such combinations as may meet the needs of the residents and be applicable to the type of facility to be operated, the following: safe and healthful living accommodations; personal assistance and care; observation and supervision; planned activities; food service; and arrangements for obtaining incidental medical and dental care. (c) (1) "California Clearance" means an individual has no felony or misdemeanor convictions reported by the California Department of Justice. However, the individual may have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. (2) "Capacity" means that maximum number of persons authorized to be provided services at any one time in any licensed facility. Page 8

13 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (3) "Care and Supervision" means those activities which if provided shall require the facility to be licensed. It involves assistance as needed with activities of daily living and the assumption of varying degrees of responsibility for the safety and well-being of residents. "Care and Supervision" shall include, but not be limited to, any one or more of the following activities provided by a person or facility to meet the needs of the residents: (B) Assistance in dressing, grooming, bathing and other personal hygiene; Assistance with taking medication, as specified in Section 87465, Incidental Medical and Dental Care Services; (C) Central storing and distribution of medications, as specified in Section 87465, Incidental Medical and Dental Care Services; (D) (E) (F) (G) (H) Arrangement of and assistance with medical and dental care. This may include transportation, as specified in Section 87465, Incidental Medical and Dental Care Services; Maintenance of house rules for the protection of residents; Supervision of resident schedules and activities; Maintenance and supervision of resident monies or property; Monitoring food intake or special diets. (4) "Certificate holder" means a person who has a current administrator's certificate issued by the Department regardless of whether the person is employed as an administrator in a residential care facility for the elderly. (5) "Certified administrator" means an administrator who has been issued a residential care facility for the elderly administrator certificate by the Department and whose certificate is current. (6) "Classroom Hour" means fifty (50) to sixty (60) minutes of classroom instruction within a 60-minute period. No credit is given for meal breaks. (7) "Classroom setting" means a setting, conducive to learning and free from distractions, for which the primary purpose is education, instruction, training, or conference. Participants must be able to simultaneously interact with each other as well as with the instructor. (8) "Close friend" means a person who is attached to another by feelings of personal regard as indicated by both parties involved. MANUAL LETTER NO. CCL Effective 1/1/16 Page 9

14 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) (9) "Co-locate" means that a vendor applicant is approved for more than one program type, i.e., ARF, RCFE, GH, and has received approval to teach specific continuing education courses at the same time and at the same location. Co-location is allowed for Continuing Education Training Program vendors only. (10) "Community Care Facility" means any facility, place or building providing nonmedical care and supervision, as defined in Section 87101(c)(2). (11) "Complete request" means the vendor applicant has submitted, and the Department has received, all required information and materials necessary to approve or deny the request for certification program and/or course approval. (12) "Conservator" means a person appointed by the Superior Court pursuant to Probate Code section 1800 et. seq. or Welfare and Institutions Code section 5350, to care for the person, or estate, or person and estate, of an adult. (13) "Consultant" means a person professionally qualified by training and experience to provide expert information on a particular subject. (14) "Continuing Care Contract" is defined in Health and Safety Code section 1771(c)(8). HANDBOOK BEGINS HERE Health and Safety Code section 1771(c)(8) provides: "'Continuing care contract' means a contract that includes a continuing care promise made, in exchange for an entrance fee, the payment of periodic charges, or both types of payments. A continuing care contract may consist of one agreement or a series of agreements and other writings incorporated by reference." HANDBOOK ENDS HERE (15) "Continuing Education Training Program Vendor" means a vendor approved by the Department to provide continuing education training courses to residential care facility for the elderly administrators and certificate holders to qualify them for renewal of their residential care facility for the elderly administrator certificate. MANUAL LETTER NO. CCL Effective 1/1/16 Page 10

15 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (16) "Control of Property" means the right to enter, occupy, and maintain the operation of the facility property within regulatory requirements. Evidence of control of property shall include, but is not limited to, the following: (B) (C) A Grant Deed showing ownership; or The Lease Agreement or Rental Agreement; or A court order or similar document which shows the authority to control the property pending outcome of probate proceeding or estate settlement. (17) "Conviction" means: (B) A criminal conviction in California; or Any criminal conviction of another state, federal, military or other jurisdiction, which if committed or attempted in California, would have been punishable as a crime in California. (18) "Course" means either, (1) a quarter- or semester-long structured sequence of classroom instruction covering a specific subject, or (2) a one-time seminar, workshop, or lecture of varying duration. (19) "Criminal Record Clearance" means an individual has a California clearance and a FBI clearance. (d) (1) "Day" means calendar day unless otherwise specified. (2) "Deficiency" means any failure to comply with any provision of the Residential Care Facilities Act for the Elderly and regulations adopted by the Department pursuant to the Act. (3) "Delayed Egress Device" means a special egress-control device of the time delay type as specified in Health and Safety Code section (a). MANUAL LETTER NO. CCL Effective 1/1/16 Page 11

16 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) HANDBOOK BEGINS HERE Health and Safety Code section (a) provides: "When approved by the person responsible for enforcement as described in Section 13146, exit doors in facilities classified as Group R, Division 2 facilities under the California Building Standards Code, licensed as residential care facilities for the elderly, and housing clients with Alzheimer's disease or dementia, may be equipped with approved listed special egress-control devices of the time-delay type, provided the building is protected throughout by an approved automatic sprinkler system and an approved automatic smoke-detection system. The devices shall conform to all of the following requirements: (1) Automatic deactivation of the egress-control device upon activation of either the sprinkler system or the detection system. (2) Automatic deactivation of the egress-control device upon loss of electrical power to any one of the following: The egress-control device; the smoke-detection system; exit illumination as required by Section 1012 of the California Building Code. (3) Be capable of being deactivated by a signal from a switch located in an approved location. (4) Initiate an irreversible process that will deactivate the egress-control device whenever a manual force of not more than 15 pounds (66.72N) is applied for two seconds to the panic bar or other door-latching hardware. The egress-control device shall deactivate within an approved time period not to exceed a total of 15 seconds, except that the person responsible for enforcement as described in Section may approve a delay not to exceed 30 seconds in residential care facilities for the elderly serving patients with Alzheimer's disease. The time delay established for each egress-control device shall not be field adjustable. (5) Actuation of the panic bar or other door-latching hardware shall activate an audible signal at the door. (6) The unlatching shall not require more than one operation. HANDBOOK CONTINUES Page 12

17 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) HANDBOOK CONTINUES (7) A sign shall be provided on the door located above and within 12 inches (305mm) of the panic bar or other door-latching hardware reading: KEEP PUSHING, THIS DOOR WILL OPEN IN SECONDS, ALARM WILL SOUND. Sign letters shall be at least one inch (25mm) in height and shall have a stroke of not less than 1/8 inch (3.3mm). (8) Regardless of the means of deactivation, relocking of the egress-control device shall be by manual means only at the door." HANDBOOK ENDS HERE (4) "Dementia" means the loss of intellectual function (such as thinking, remembering, reasoning, exercising judgment and making decisions) and other cognitive functions, sufficient to interfere with an individual's ability to perform activities of daily living or to carry out social or occupational activities. Dementia is not a disease itself, but rather a group of symptoms that may accompany certain conditions or diseases, including Alzheimer's Disease. Symptoms may include changes in personality, mood, and/or behavior. Dementia is irreversible when caused by disease or injury, but may be reversible when caused by depression, drugs, alcohol, or hormone/vitamin imbalances. (5) "Department" is defined in Health and Safety Code section (c). HANDBOOK BEGINS HERE Health and Safety Code section (c) provides: "'Department' means the State Department of Social Services." HANDBOOK ENDS HERE (6) "Dietitian" means a person who is eligible for registration by the American Dietetic Association. (7) "Direct care staff" means the licensee, or those individuals employed by the licensee, who provide direct care to the residents, including, but not limited to, assistance with activities of daily living. (8) "Director" is defined in Health and Safety Code section (d). Page 13

18 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) HANDBOOK BEGINS HERE Health and Safety Code section (d) provides: "'Director' means the Director of the State Department of Social Services." HANDBOOK ENDS HERE (9) "Do-Not-Resuscitate (DNR) Form" means the pre-hospital do-not-resuscitate forms developed by the California Emergency Medical Services Authority and by other local emergency medical services agencies. These forms, when properly completed by a resident or (in certain instances) a resident's Health Care Surrogate Decision Maker, and by a physician, alert pre-hospital emergency medical services personnel to the resident's wish to forego resuscitative measures in the event of the resident's cardiac or respiratory arrest. (10) "Documentation" means written supportive information including but not limited to the Licensing Report (Form LIC 809). (e) (1) "Egress Alert Device" means a wrist band or other device which may be worn by a resident or carried on a resident's person, which triggers a visual or auditory alarm when the resident leaves the facility building or grounds. (2) "Elderly Person" means, for purposes of admission into a residential care facility for the elderly, a person who is sixty (60) years of age or older. (3) "Emergency Approval to Operate" (EAO) means a temporary approval to operate a facility for no more than 60 days pending the issuance or denial of a license by the licensing agency. (4) "Evaluator" means any person who is a duly authorized officer, employee or agent of the Department including any officer, employee or agent of a county or other public agency authorized by contract to license community care facilities. (5) "Evidence of Licensee's Death" shall include, but is not limited to, a copy of the death certificate, obituary notice, certification of death from the decedent's mortuary, or a letter from the attending physician or coroner's office verifying the death of the licensee. (6) "Exception" means a variance to a specific regulation based on the unique needs or circumstances of a specific resident or staff person. Requests for exceptions are made to the licensing agency by an applicant or licensee. They may be granted for a particular facility, resident or staff person, but cannot be transferred or applied to other individuals. Page 14

19 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (7) "Existing Facility" means any facility operating under a valid license on the date of application for a new license. (f) (1) "Facility Hospice Care Waiver" means a waiver from the limitation on retention of residents who require more care and supervision than other residents and residents who are bedridden other than for a temporary illness. The Hospice Care Waiver granted by the Department will permit the retention in a facility of a designated maximum number of terminally ill residents who are receiving hospice services from a hospice agency. The Facility Hospice Care Waiver will apply only to those residents who are receiving hospice care in compliance with a hospice care plan meeting the requirements of Section 87633, Hospice Care for Terminally Ill Residents. (2) "Federal Bureau of Investigation (FBI) Clearance" means an individual has no felony or misdemeanor convictions reported by the FBI. The individual may also have been arrested with no criminal conviction, convicted of a minor traffic offense or adjudicated as a juvenile. (g) (1) "Guardian" means a person appointed by the Superior Court pursuant to Probate Code section 1500 et seq. to care for the person, or person and estate, of a child. (h) (1) "Healing wounds" include cuts, stage one and two dermal ulcers as diagnosed by a physician, and incisions that are being treated by an appropriate skilled professional with the affected area returning to its normal state. They may involve breaking or laceration of the skin and usually damage to the underlying tissues. (2) "Health Care Provider" means those persons described in Probate Code section 4621: "an individual licensed, certified, or otherwise authorized or permitted by the law of this state to provide health care in the ordinary course of business or practice of a profession." (3) "Health Care Surrogate Decision Maker" means an individual who participates in health care decision making on behalf of an incapacitated resident. Health care surrogate decision maker may be formally appointed (e.g., by the resident in a Durable Power of Attorney for Health Care or by a court in a conservatorship proceeding) or, in the absence of a formal appointment, may be recognized by virtue of a relationship with the resident (e.g., the resident's next of kin). The licensee or any staff member of the facility shall not be appointed health care surrogate decision maker. (4) "Health Condition Relocation Order" means written notice by the Department to a licensee requiring the relocation of a resident from a residential care facility for the elderly because the resident has a health condition which cannot be cared for within the limits of the license, requires inpatient care in a health facility or has a prohibited health condition as specified in Section 87615, Prohibited Health Conditions. Page 15

20 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) (5) "Home Economist" means a person who holds a baccalaureate or higher degree in home economics and who specialized in either food and nutrition or dietetics. (6) "Hospice or Hospice Agency" means an entity which provides hospice services to terminally ill persons, is Medicare certified for hospice, and holds either a Hospice license or a Home Health Agency license from the California Department of Health Services. Any organizations, appropriately skilled professionals, or other professional persons or entities that are subcontracted by the hospice or hospice agency for the provision of specified hospice services to the resident are included within the definition. The hospice agency providing services in an RCFE shall not subcontract with the licensee or any facility staff for the provision of services. (7) "Hospice Care Plan" means the hospice agency's written plan of care for a terminally ill resident. The hospice shall retain overall responsibility for the development and maintenance of the plan and quality of hospice services delivered. (i) (1) "Immediate Need" means a situation where prohibiting the operation of the facility would be detrimental to a resident's physical health, mental health, safety, or welfare. Examples of immediate need include but are not limited to: (B) A change in facility location when residents are in need of services from the same operator at the new location; A change of facility ownership when residents are in need of services from the new operator. (2) "Initial Certification Training Program Vendor" means a vendor approved by the Department to provide the initial eighty (80) hour certification training program to persons who do not possess a valid residential care facility for the elderly administrator certificate. (3) "Instruction" means to furnish an individual with knowledge or to teach, give orders, or direction of a process or procedure. (4) "Interdisciplinary Team" means a team that shall assist the Department in evaluating the need for relocating a resident of a residential care facility for the elderly when the resident has requested a review of the Department's health-condition relocation order. This team shall consist of the Department's nurse consultant and a social worker, designated by the Department, with experience in the needs of the elderly. Persons selected for an interdisciplinary team review shall not have been involved in the initial decision to issue a relocation order for the resident in question. MANUAL LETTER NO. CCL Effective 1/1/16 Page 16

21 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (j) (k) (Reserved) (Reserved) (l) (1) "License" is defined in Health and Safety Code section (g). HANDBOOK BEGINS HERE Health and Safety Code section (g) reads: "License" means a basic permit to operate a residential care facility for the elderly. HANDBOOK ENDS HERE (2) "Licensed Professional" means a person who is licensed in California to provide medical care or therapy. This includes physicians and surgeons, physician assistants, nurse practitioners, registered nurses, licensed vocational nurses, psychiatric technicians, physical therapists, occupational therapists and respiratory therapists, who are operating within his/her scope of practice. (3) "Licensee" means the individual, firm, partnership, corporation, association or county having the authority and responsibility for the operation of a licensed facility. (4) "Licensing Agency" means a state, county or other public agency authorized by the Department to assume specified licensing, approval or consultation responsibilities pursuant to Health and Safety Code section (m) (1) "Medical Professional" means an individual who is licensed or certified in California to perform the necessary medical procedures within his/her scope of practice. This includes, but is not limited to, Medical Doctor (MD), Registered Nurse (RN) and Licensed Vocational Nurse (LVN). MANUAL LETTER NO. CCL Effective 1/1/16 Page 17

22 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) (2) "Mild cognitive impairment" (MCI) refers to people whose cognitive abilities are in a "conditional state" between normal aging and dementia. Normal age-related memory changes can include forgetting a person's name or the location of an object, however, individuals with MCI have difficulty with short-term memory loss. MCI is a state in which at least one cognitive function, usually short-term memory, is impaired to an extent that is greater than would be anticipated in the normal aging process. MCI is characterized by shortterm memory problems, but no other symptoms of dementia (e.g., problems with language, judgment, changes in personality or behavior) that affect a person's daily functioning. Individuals with MCI may experience some difficulty with intellectually demanding activities, but lack the degree of cognitive and functional impairment required to meet diagnostic criteria for dementia. (n) (1) "New Facility" means any facility applying for an initial license whether newly constructed or previously existing for some other purpose. (2) "Nonambulatory Person" means a person who is unable to leave a building unassisted under emergency conditions. It includes, but is not limited to, those persons who depend upon mechanical aids such as crutches, walkers, and wheelchairs. It also includes persons who are unable, or likely to be unable, to respond physically or mentally to an oral instruction relating to fire danger and, unassisted, take appropriate action relating to such danger. (3) "Non-Compliance Conference" means a meeting initiated by the Department that takes place between the licensing agency and the licensee to afford the licensee an opportunity to correct licensing violations other than those that pose an immediate danger to residents and that may result in a corrective plan of action. Its purpose is to review the existing deficiencies and to impress upon the licensee the seriousness of the situation prior to the agency requesting administrative action to revoke the license. The Department may initiate administrative action without a non-compliance conference. (4) "Nutritionist" means a person holding a master's degree in food and nutrition, dietetics, or public health nutrition, or who is employed by a county health department in the latter capacity. (o) (Reserved) (p) (1) "Physician" means a person licensed as a physician and surgeon by the California Board of Medical Examiners or by the California Board of Osteopathic Examiners. (2) "Placement Agency" as defined in Health and Safety Code section (a), means any county welfare department, county social services department, county mental health department, county public guardian, general acute care hospital discharge planner or coordinator, state-funded program or private agency providing placement or referral services, and regional center for persons with developmental disabilities which is engaged in finding homes or other places for the placement of elderly persons for temporary or permanent care. Page 18

23 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (3) "PRN Medication" (pro re nata) means any nonprescription or prescription medication which is to be taken as needed. (4) "Provision" or "Provide." Whenever any regulation specifies that provision be made for or that there be provided any service, personnel or other requirement, it means that if the resident is not capable of doing so himself, the licensee shall do so directly or present evidence satisfactory to the licensing agency of the particular arrangement by which another provider in the community will do so. (5) "Provisional License" means a temporary, nonrenewable license, issued for a period not to exceed twelve months which is issued in accordance with the criteria specified in Section 87162, Provisional License. (q) (Reserved) (r) (1) "Rehabilitation" means the effort to reestablish good character since the date of the last conviction, including, but not limited to, education, counseling or therapy, training, stable employment, restitution, remorse, changes in lifestyle, or community service. (2) "Relative" means spouse, parent, stepparent, son, daughter, brother, sister, half-brother, halfsister, uncle, aunt, niece, nephew, first cousin or any such person denoted by the prefix "grand" or "great", or the spouse of any of the persons specified in this definition, even if the marriage has been terminated by death or dissolution. (3) "Request to Forego Resuscitative Measures" is defined in Probate Code section Probate Code section 4780 provides: HANDBOOK BEGINS HERE "(a) As used in this part: (1) 'Request to forego resuscitative measures' means a written document, signed by an individual, or a legally recognized surrogate health care decisionmaker, and (B) a physician that directs a health care provider to forgo resuscitative measures for the individual. HANDBOOK CONTINUES MANUAL LETTER NO. CCL Effective 1/1/16 Page 19

24 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) HANDBOOK CONTINUES (2) 'Request to forego resuscitative measures' includes a prehospital 'do not resuscitate' form as developed by the Emergency Medical Services Authority or other substantially similar form. (b) A request to forgo resuscitative measures may also be evidenced by a medallion engraved with the words 'do not resuscitate' or the letters 'DNR', a patient identification number, and a 24-hour toll-free telephone number, issued by a person pursuant to an agreement with the Emergency Medical Services Authority." HANDBOOK ENDS HERE (4) "Residential Care Facility for the Elderly" means a housing arrangement chosen voluntarily by the resident, the resident's guardian, conservator or other responsible person; where 75 percent of the residents are sixty years of age or older and where varying levels of care and supervision are provided, as agreed to at time of admission or as determined necessary at subsequent times of reappraisal. Any younger residents must have needs compatible with other residents. (5) "Responsible Person" means that individual or individuals, including a relative, health care surrogate decision maker, or placement agency, who assist the resident in placement or assume varying degrees of responsibility for the resident's well-being. (6) "Room and Board" means a living arrangement where care and supervision is neither provided nor available. (s) (1) "Serious Deficiency" means any deficiency that presents an immediate or substantial threat to the physical health, mental health, or safety of the residents or clients of a community care facility. (2) "Shall" means mandatory. "May" means permissive. (3) "Significant Other" means a person, including a person of the same gender, with whom a resident was sharing a partnership prior to his/her placement in a Residential Care Facility for the Elderly (RCFE). The partnership involves two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring. (4) "Simplified Exemption" means an exemption granted on the Department's own motion, as authorized in Health and Safety Code section (c)(4), if the individual's criminal history meets specific criteria established by Department regulation. MANUAL LETTER NO. CCL Effective 1/1/16 Page 20

25 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (5) "Singular-Plural." Whenever in these regulations the singular is used, it can include the plural. (6) "Social Worker" means a person who has a graduate degree from an accredited school of social work or who has equivalent qualifications as determined by the Department. (7) "SSI/SSP" means the Supplemental Security Income/State Supplemental Program. (8) Standard Precautions. See "Universal Precautions." (9) "Substantial Compliance" means the absence of any deficiencies which would threaten the physical health, mental health, safety or welfare of the residents. Such deficiencies include, but are not limited to, those deficiencies referred to in Section 87758, Serious Deficiencies - Examples, and the presence of any uncorrected serious deficiencies for which civil penalties could be assessed. (10) "Supervision" means to oversee or direct the work of an individual or subordinate but does not necessarily require the immediate presence of the supervisor. (t) (1) "Terminally Ill Resident" means that the resident has a prognosis by his/her attending physician that the resident's life expectancy is six months or less if his/her illness or condition runs its normal course. (2) "Transfer Trauma" means the consequences of the stress and emotional shock caused by an abrupt, involuntary relocation of a resident from one facility to another. (u) (1) "Universal Precautions" means an approach to infection control that treats all human blood and body fluids as if they are infectious. Generally, universal precautions consist of regular hand washing after coming into contact with another person's body fluids (mucous, saliva, urine, etc.) and includes use of gloves when handling blood or body fluids that contain blood. Specifically, universal precautions consist of the following four basic infection control guidelines: Hand washing - Staff should wash their hands in the following situations, but not limited to these situations: 1. After assisting with incontinent care or wiping a resident's nose. 2. Before preparing or eating food. Page 21

26 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) After using the toilet. 4. Before and after treating or bandaging a cut. 5. After wiping down surfaces, cleaning spills, or any other housekeeping. 6. After being in contact with any body fluids from another person, even if they wore gloves during contact with body fluids. (B) Gloves 1. Use gloves only one time, for one incident or resident. (i) (ii) Air dry the hands or dry the hands on a single-use paper towel prior to putting on a new pair of gloves. Dispose of used gloves immediately after use. 2. Staff should always wear gloves in the following situations, but not limited to these situations: (i) (ii) (iv) When they come into contact with blood or body fluids. When they have cuts or scratches on their hands. When administering first aid for a cut, a bleeding wound, or a bloody nose. (C) Cleaning with a disinfectant - Staff should clean with a disinfectant: 1. On all surfaces and in the resident's room and on an "as needed" basis on any surface that has come into contact with blood. 2. Such as a basic bleach solution, made fresh daily by mixing 1/4 cup household liquid chlorine bleach in one gallon of tap water, or one tablespoon bleach in one quart of water. (D) Proper disposal of infectious materials - Staff should dispose of infectious materials by placing them in a plastic trash bag, tying the bag with a secure tie, and disposing of it out of reach of residents and children. Page 22

27 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY (Cont.) DEFINITIONS (Continued) (2) "Unlicensed Residential Facility for the Elderly" means a facility as defined in Health and Safety Code section HANDBOOK BEGINS HERE Health and Safety Code section (a) provides: "(a) A facility shall be deemed to be an 'unlicensed residential care facility for the elderly' and 'maintained and operated to provide residential care' if it is unlicensed and not exempt from licensure, and any one of the following conditions is satisfied: (1) The facility is providing care and supervision, as defined by this chapter or the rules and regulations adopted pursuant to this chapter. (2) The facility is held out as, or represented as, providing care and supervision, as defined by this chapter or the rules and regulations adopted pursuant to this chapter. (3) The facility accepts or retains residents who demonstrate the need for care and supervision, as defined by this chapter or the rules and regulations adopted pursuant to this chapter. (4) The facility represents itself as a licensed residential facility for the elderly." HANDBOOK ENDS HERE (B) A facility which is "providing care and supervision" as defined in Section 87101(c)(2) includes, but is not limited to, one in which individual has been placed by a placement agency or family members. A facility which is "held out as or represented as providing care and supervision" includes, but is not limited to: (1) A facility whose license has been revoked or denied, but the individual continues to provide care for the same or different clients with similar needs. (2) A facility where change of ownership has occurred and the same clients are retained. Page 23

28 87101 (Cont.) RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations DEFINITIONS (Continued) (3) A licensed facility that moves to a new location. (4) A facility which advertises as providing care and supervision. (C) A facility which "accepts or retains residents who demonstrate the need for care and supervision" includes, but is not limited to: (1) A facility with residents requiring care and supervision, even though the facility is providing board and room only, or board only, or room only. (2) A facility where it is apparent that care and supervision are being provided by virtue of the client's needs being met. (v) (1) "Vendor" means a Department-approved institution, association, individual(s), or other entity that assumes full responsibility or control over a Department-approved Initial Certification Training Program or a Continuing Education Training Program. (2) "Vendor applicant" means any institution, association, individual(s), or other entity that submits a request for approval of an Initial Certification Training Program or a Continuing Education Training Program. (3) "Voluntary" means resulting from free will. (w) (1) "Waiver" means a variance to a specific regulation based on a facility-wide need or circumstance which is not typically tied to a specific resident or staff person. Requests for waivers are made to the licensing agency, in advance, by an applicant or licensee. (x) (y) (z) (Reserved) (Reserved) (Reserved) NOTE: Authority cited: Sections , , and , Health and Safety Code. Reference: 42 CFR 418.3; Sections , , , , , , , , , , , , , , , , , , , , , , , , , , , , , 1771 and , Health and Safety Code; Sections 5350 and , Welfare and Institutions Code; Sections 1500, 1800 and 4780, Probate Code. Page 24

29 Regulations RESIDENTIAL CARE FACILITIES FOR THE ELDERLY DESCRIPTIONS OF FORMS The following forms, which are incorporated by reference, apply to the regulations in Title 22, Division 6, Chapters 5 (Group Homes), 6 (Adult Residential Facilities) and 8 (Residential Care Facilities for the Elderly), except for PUB 325 and the RCFE Core of Knowledge which only apply to Chapter 8. (a) (b) (c) (d) (e) (f) (g) (h) (i) (j) (k) LIC 9139 (01/16) - Renewal of Continuing Education Course Approval, Administrator Certification Program. LIC 9140 (01/16) - Request for Course Approval, Administrator Certification Program. LIC 9140A (01/16) - Request to Add or Replace Instructor, Administrator Certification Program. LIC 9141 (01/16) - Vendor Application/Renewal, Administrator Certification Program. LIC 9142A (01/16) Roster of Participants - for Vendor Use Only, Administrator Certification Program. LIC 9142B (01/16) Roster of Participants for Exam Proctoring Only, Administrator Certification Program. LIC 9163 (3/11) Request for Live Scan Service Community Care Licensing. LIC 508 (7/15) Criminal Record Statement. LIC 9214 (01/16) Application for Administrator Certification, Administrator Certification Program. PUB 325 (3/12) - Your Right To Make Decisions About Medical Treatment. Core of Knowledge Training Standard (01/16) - RCFE 80-Hour Initial Certification. NOTE: Authority cited: Sections 1530, (i)(1) and , Health and Safety Code. Reference: Sections , and , Health and Safety Code. MANUAL LETTER NO. CCL Effective 1/1/16 Page 25

30 87105 RESIDENTIAL CARE FACILITIES FOR THE ELDERLY Regulations Article 2. License LICENSE REQUIRED (a) Pursuant to Health and Safety Code, Section , any individual or legal entity providing or intending to provide care and supervision to the elderly in a residential facility shall obtain a current valid license pursuant to the provisions of this chapter. This shall not require an adult residential facility to relocate a resident who becomes 60, nor to change licensing category, provided that the resident's needs remain compatible with those of other residents, and the licensing agency has approved an exception request. NOTE: Authority cited: Section , Health and Safety Code. Reference: Sections , and , Health and Safety Code OPERATION WITHOUT A LICENSE (a) An unlicensed facility as defined in Section 87101(u)(2) is in violation of section , , and/or of the Health and Safety Code unless the facility is exempted from licensure under Section 87107(a). (b) If the facility is alleged to be in violation of section and/or and/or of the Health and Safety Code, the licensing agency shall conduct a site visit and/or evaluation of the facility pursuant to Health and Safety Code section HANDBOOK BEGINS HERE Health and Safety Code section (c) provides in part: "Upon receipt of a complaint, other than a complaint alleging denial of a statutory right of access to a residential care facility for the elderly, the department shall make a preliminary review and, unless the department determines that the complaint is willfully intended to harass a licensee or is without any reasonable basis, it shall make an onsite inspection within 10 days after receiving the complaint... In either event, the complainant shall be promptly informed of the department's proposed course of action." HANDBOOK ENDS HERE (c) (d) If the facility is operating without a license, the licensing agency shall issue a Notice of Operation in Violation of Law, and shall refer the case for criminal prosecution and/or civil proceedings. The licensing agency shall issue an immediate civil penalty pursuant to Section 87768, Unlicensed Facility Penalties and Health and Safety Code section Page 26